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Showing 1221 - 1230 of 1612 results for "Investigation"

ASIC bans former Citibank manager

RACHEL DAVIS  |  TUESDAY, 20 SEP 2011
ASIC has permanently banned a former Citibank manager from providing financial services after an investigation found she conducted over 30 transactions without client authorisation. Victoria Cai, of Beverly Hills, New South Wales, was employed as a ...

Trio directors accept APRA suspension

ELISE BURGESS  |  FRIDAY, 9 SEP 2011
Trio Capital directors, Rex Phillpott and David Andrews, have conceded to APRA that with the benefit of hindsight they should have acted differently and regret their actions, with the regulator accepting an enforceable undertaking from the pair. The ...

ASIC bans adviser over deceptive conduct

RACHEL DAVIS  |  TUESDAY, 6 SEP 2011
... former Sydney-based financial adviser has been permanently banned from providing financial services after an ASIC investigation revealed he had engaged in misleading and deceptive conduct. James Edward Maurice Rowe was banned after ASIC found he had ...

Super funds need modern platforms to disclose holdings

ALISON BEVEGE  |  FRIDAY, 19 AUG 2011
... their fund trades, then it will pressure the Federal Government to force them to. In March a global Morningstar investigation of managed funds found Australia ranked among the worlds worst for disclosure as the law does not force them to publish portfolio ...

One year jail for Opes Prime directors

ELISE BURGESS  |  THURSDAY, 28 JUL 2011
... and Anthony Blumberg were charged following an extensive Australian Securities and Investment Commission (ASIC) investigation. Emini, the former chief executive, received a 24 months imprisonment sentence, with orders to 12 months before being released ...

ASIC heats up insider trading investigations

ELISE BURGESS  |  THURSDAY, 14 JUL 2011
Australian Securities and Investments Commission (ASIC) has put the corporate advice world on high alert after releasing a report stating it has doubled its investigations into insider trading in the past year. ASIC took over the role as regulator from ...

ASIC warns it will act on rogue ETF pricing

ALISON BEVEGE  |  WEDNESDAY, 13 JUL 2011
... year, it said. Of the 23,494 trading alerts generated, 121 required further consideration and 35 were referred for investigation, ASIC market supervision report 243 said. Of those the majority, 17, were for potential insider trading followed by six for ...

Market Wrap - Morning

AAP  |  MONDAY, 11 JUL 2011
The Australian share market is set to open lower today on weak offshore leads and the impact of the federal government's carbon tax on specific stocks. At 0804 AEST, the local September share price index futures contract is 40 points lower at 4,600 ...

Westpoint directors face charges

ELISE BURGESS  |  MONDAY, 4 JUL 2011
... role in the company's downfall. Norm Carey and Graeme Rundle are facing two criminal charges each as a result of an investigation by the Australian Securities and Investments Commission (ASIC), which alleges the two parties breached their duties under ...

Trio director offers EU to APRA

ELISE BURGESS  |  MONDAY, 4 JUL 2011
... or custodian of an APRA-regulated superannuation entity, Beck acknowledged her role and agreed to assist APRA's investigation and address the regulator's concerns, admitting that she should have behaved differently. As such, APRA has accepted her offer ...